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Client Names & Usage

CITI:
· Per our agreement with Citi, we must meet a minimum threshold for interview completion rates by
product. Please keep this in mind and effort to complete interviews with as many of the Citi nominated
MCs in your portfolios as possible.

During the client input process this year, we asked our clients to not only tell us which RPs they would like us
to interview for a specific program, but also to provide the name of their sales person who handles that
account. The objective of this initiative was to be able to provide you with the names of some of the dealers, as
well as their sales reps, in advance of the interview to ensure that we capture as much information as possible
on these dealers during the interview. This will increase the value we can provide back to our clients.

If a client (the dealer/bank) has endorsed an RP, it is imperative that you probe for commentary on that dealer
during the interview. If an RP doesn’t mention a dealer for which they’ve received an endorsement, you should
ask the RP about that bank (i.e., “Do you use RBS at all?”). You should also probe for open-end evaluations
for these dealers. We have provided sales rep names (if supplied), which may let the RP respond more
candidly. Note that sometimes only the first or last name of the sales rep has been given.

In addition, you can use the following clients to names with the specific RPs they endorsed:
· BAML · HSBC · Piper Jaffrey
· BMO · Jefferies · TD Securities
· Citi · Morgan Stanley

For the above clients:
· When trying to secure an interview with a reluctant RP, you can use the names of these clients, if
necessary.
· During the interview, itself, you should probe for citations for these dealers, if not mentioned by the RP.
· Try to obtain open-end evaluations for these banks. Sales rep names are included where provided by the
client.
· Sales rep names are NOT be used to help secure interviews. Only the name of the client (i.e Citi,
HSBC, etc) can be used.
· Important note: We are no longer providing the Client Name Report as you can access this information
through EIPM. Instructions on how to access the information is illustrated below.

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